Operations and Compliance Officer in United Kingdom

Applying for the Operations and Compliance Officer role

Job Title: Operations and Compliance Officer
Location: United Kingdom
Salary: £0 - £200,000
Type: Full Time
Job Sector: Financial Services
Sub Sector: Compliance
Job Reference No: EC2AOperationsCompliance010119

Job Description

Operations and Compliance Officer

Job Type: Full time

Location: City of London, London

Salary: Competitive

Job Description:

An excellent opportunity has arisen for an ambitious operations and compliance officer to join a fast-growing foreign exchange boutique based in London. The aim of this role is to manage key operations responsibilities as well as support the compliance functions within the business. The individual will work closely with the Head of Operations and MLRO in assisting with all aspects of pre-and post-trade processes for Foreign Exchange deliverable dealings. In some cases there is direct involvement, for others it will be more about oversight of technology-led solutions. With the company moving towards process automation, successful candidates will have some experience in data handling and analysis.

Main responsibilities include:


- End-to end life cycle management for settlement, payments and reconciliation.
- Act as point of contact for all client settlement and payment queries.
- Responsible for managing communication with banking provider as well as liquidity providers to deliver smooth and efficient settlement process for clients.
- Dealing with ad hoc client, trading desk and sales team requests.
- Preparing end of day reports and managing records in Salesforce and other internal systems.
- Assisting in project work and streamlining current operational processes to support firm`s growth phase.
- Ability to work with data and numbers and assisting in the technological projects to streamline business functions.


- Managing on-boarding for private, corporate clients and introducers.
- Responsible for carrying out KYC, AML checks for existing and new accounts.
- Managing ongoing monitoring of all our active clients and screening all transactions against Sanctions and PEP checks (via online portals).
- Assisting in the establishment and maintenance of Anti-Money Laundering controls and compliance monitoring program.
- Assisting in the audit process conducted by the bank and other regulatory bodies.
- Responsible for proper record keeping and dealing with ad-hoc requests from clients and internal teams.
- Support the business and MLRO in all compliance related matters.

In terms of skill and competencies, we are looking for a responsible, personable and driven individual with the following attributes being essential:

- Advanced level Excel skill and ability to work with database applications.
- Excellent organisation skill with the ability to prioritize and handle multiple tasks.
- Self-motivated, reliable and works well under challenging and fast-paced environment.
- A working knowledge of FCA and AML regulations.
- Numerate with the ability to communicate clearly and ability to work independently.

Next Steps

To apply to our vacancy for an Operations and Compliance Officer, please click Apply and submit a copy of your CV for consideration.

We look forward to hearing from you.

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